NOTIFICATION OF ADDENDUM ADDENDUM NO. 1 DATED 6/03/2014 Ladies/Gentlemen: Attached please find an addendum on the above captioned project. Included in the attachment is an adendum notification which details the changes and the respective proposal pages which were added and/ or changed. Except for new bid insert pages, it is unnecessary to return any of the pages attached. Bid insert pages must be returned with the bid proposal submitted to the Department, unless your firm is submitting a bid using a computer print out. The computer print out must be changed to reflect the new bid item information. Contractors and material suppliers, etc. who have previously been furnished informational proposals are not being furnished a copy of the addendum. If you have a subcontractor on the above project, please advise them of this addendum. Acknowledgment of this addendum is not requested if your company has been issued a proposal stamped “This Proposal Issued for Informational Purposes.” You are required to acknowledge receipt of this addendum on the Addendum Acknowledgement form contained in your bid proposal by placing a mark in the box next to the respective addendum. Failure to Acknowledge receipt of this addendum in your bid proposal will result in your bid not being read. 04/99 Control 0211-05-018 Project NH 2014(711) Highway US 77 County LEE
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NOTIFICATION OF ADDENDUM ADDENDUM NO. 1 … OF ADDENDUM ADDENDUM NO. 1 DATED 6/03/2014 Ladies/Gentlemen: Attached please find an addendum on the above captioned project. Included in
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NOTIFICATION OF ADDENDUM
ADDENDUM NO. 1
DATED 6/03/2014
Ladies/Gentlemen:
Attached please find an addendum on the above captioned project. Included in the attachment is an adendum notification which details the changes and the respective proposal pages which were added and/or changed.
Except for new bid insert pages, it is unnecessary to return any of the pages attached.
Bid insert pages must be returned with the bid proposal submitted to the Department, unless your firm is submitting a bid using a computer print out. The computer print out must be changed to reflect the new bid item information.
Contractors and material suppliers, etc. who have previously been furnished informational proposals are not being furnished a copy of the addendum. If you have a subcontractor on the above project, please advise them of this addendum. Acknowledgment of this addendum is not requested if your company has been issued a proposal stamped “This Proposal Issued for Informational Purposes.”
You are required to acknowledge receipt of this addendum on the Addendum Acknowledgement form contained in your bid proposal by placing a mark in the box next to the respective addendum.
Failure to Acknowledge receipt of this addendum in your bid proposal will result in your bid not being read.
04/99
Control 0211-05-018Project NH 2014(711)Highway US 77County LEE
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SUBJECT: PLANS AND PROPOSAL ADDENDUMS PROJECT: NH 2014(711) CONTROL: 0211-05-018 COUNTY: LEE LETTING: 06/12/2014 REFERENCE NO: 0602
PROPOSAL ADDENDUMS ------------------ _ PROPOSAL COVER _ BID INSERTS (SH. NO.: ) _ GENERAL NOTES (SH. NO.: ) X SPEC LIST (SH. NO.: 1-2,2-2 ) X SPECIAL PROVISIONS: ADDED: 000---003, 000---004, 000---006, 000---009, 000---011, 000--1483 000--2638, 000--1966, 000--2329, 000--2332, 000--2607, 000--2839 DELETED: X SPECIAL SPECIFICATIONS: ADDED: 1122, 3267 DELETED: _ OTHER: DESCRIPTION OF ABOVE CHANGES (INCLUDING PLANS SHEET CHANGES) NEW WAGE RATE(S) Y SPEC LIST THE FOLLOWING WERE LEFT OF THE SPEC LIST: FORM 1273, WAGE RATES, SPECIAL PROVISIONS 000---003,000---004,000---006,000---009,000---011,000--1483, 000--2638,000--1966,000--2329, 000--2332,000--2607,000--2839,001---015, 002---017, 003---033, 004---017,005---004,006---030,006---047,007---918, 008---119,009---009,009---015,300---039,302---010,316---016,318---010, 500---011,502---033,672---034,1122--002,SPECIAL SPECIFICATIONS 1122,3267
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CONTROL : 0211-05-018 PROJECT : NH 2014(711) HIGHWAY : US 77 COUNTY : LEE TEXAS DEPARTMENT OF TRANSPORTATION
GOVERNING SPECIFICATIONS AND SPECIAL PROVISIONS ALL SPECIFICATIONS AND SPECIAL PROVISIONS APPLICABLE TO THIS PROJECT ARE IDENTIFIED AS FOLLOWS: STANDARD SPECIFICATIONS: ADOPTED BY THE TEXAS DEPARTMENT OF ------------------------ TRANSPORTATION JUNE 1, 2004. STANDARD SPECIFICATIONS ARE INCORPORATED INTO THE CONTRACT BY REFERENCE. ITEMS 1 TO 9 INCL., GENERAL REQUIREMENTS AND COVENANTS ITEM 316 SURFACE TREATMENTS (210)(300)(302) ITEM 351 FLEXIBLE PAVEMENT STRUCTURE REPAIR (204)<210><300>(316) <320><3267> ITEM 500 MOBILIZATION ITEM 502 BARRICADES, SIGNS, AND TRAFFIC HANDLING ITEM 504 FIELD OFFICE AND LABORATORY ITEM 662 WORK ZONE PAVEMENT MARKINGS (666)(668)(672) ITEM 666 REFLECTORIZED PAVEMENT MARKINGS (316)(318)(662)(677)(678) ITEM 672 RAISED PAVEMENT MARKERS (677)(678) SPECIAL PROVISIONS: SPECIAL PROVISIONS WILL GOVERN AND TAKE ------------------ PRECEDENCE OVER THE SPECIFICATIONS ENUMERATED HEREON WHEREVER IN CONFLICT THEREWITH. REQUIRED CONTRACT PROVISIONS, FEDERAL-AID CONSTRUCTION CONTRACTS (FORM FHWA 1273, MAY, 2012) WAGE RATES SPECIAL PROVISION "NOTICE TO ALL BIDDERS" (000---003) SPECIAL PROVISION "NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY" (000---004) SPECIAL PROVISION "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS" (000---006) SPECIAL PROVISION "CERTIFICATION OF NONDISCRIMINATION IN EMPLOYMENT" (000---009) SPECIAL PROVISION "DEPARTMENT DIVISION MAILING AND PHYSICAL ADDRESS" (000---011) SPECIAL PROVISION "NOTICE OF CHANGES TO U.S. DEPARTMENT OF LABOR
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REQUIRED PAYROLL INFORMATION" (000--1483) SPECIAL PROVISION "ON-THE-JOB TRAINING PROGRAM" (000--2638) SPECIAL PROVISION "DISADVANTAGED BUSINESS ENTERPRISE IN FEDERAL AID CONTRACTS" (000--1966) SPECIAL PROVISION "PARTNERING" (000--2329) SPECIAL PROVISION "SCHEDULE OF LIQUIDATED DAMAGES" (000--2332) SPECIAL PROVISION "NONDISCRIMINATION" (000--2607) SPECIAL PROVISION "IMPORTANT NOTICE TO CONTRACTORS" (000--2839) SPECIAL PROVISION TO ITEM 1 (001---015) SPECIAL PROVISION TO ITEM 2 (002---017) SPECIAL PROVISION TO ITEM 3 (003---033) SPECIAL PROVISION TO ITEM 4 (004---017) SPECIAL PROVISION TO ITEM 5 (005---004) SPECIAL PROVISIONS TO ITEM 6 (006---030)(006---047) SPECIAL PROVISION TO ITEM 7 (007---918) SPECIAL PROVISION TO ITEM 8 (008---119) SPECIAL PROVISIONS TO ITEM 9 (009---009)(009---015) SPECIAL PROVISION TO ITEM 300 (300---039) SPECIAL PROVISION TO ITEM 302 (302---010) SPECIAL PROVISION TO ITEM 316 (316---016) SPECIAL PROVISION TO ITEM 318 (318---010) SPECIAL PROVISION TO ITEM 500 (500---011) SPECIAL PROVISION TO ITEM 502 (502---033) SPECIAL PROVISION TO ITEM 672 (672---034) SPECIAL PROVISION TO SPECIAL SPECIFICATION ITEM 1122 (1122--002) SPECIAL SPECIFICATIONS: ---------------------- ITEM 1122 TEMPORARY EROSION, SEDIMENTATION, AND ENVIRONMENTAL CONTROLS ITEM 3267 DENSE-GRADED HOT-MIX ASPHALT (SMALL QUANTITY) (210)(300) (301)(320)(520) GENERAL: THE ABOVE-LISTED SPECIFICATION ITEMS ARE THOSE UNDER WHICH ------- PAYMENT IS TO BE MADE. THESE, TOGETHER WITH SUCH OTHER PERTINENT ITEMS, IF ANY, AS MAY BE REFERRED TO IN THE ABOVE- LISTED SPECIFICATION ITEMS, AND INCLUDING THE SPECIAL PROVISIONS LISTED ABOVE, CONSTITUTE THE COMPLETE SPECIFI- CATIONS FOR THIS PROJECT.
The wage rates listed are those predetermined by the Secretary of Labor and State Statue to be the minimum wages paid. To determine the applicable wage rate zone, a list entitled "TEXAS COUNTIES IDENTIFIED BY WAGE RATE ZONES" is provided in the contract. Any wage rate that is not listed must be submitted to the Engineer for approval. IMPORTANT NOTICE FOR STATE PROJECTS; only the controlling wage rate zone applies to the contract. Effective 1-3-2014
1606 Truck Driver, Single or Tandem Axle Dump Truck $11.33 $14.53 $11.95 $11.68 $14.06 $12.62 $11.45 $12.28 $13.08 $11.68 $11.48 $11.10
1607 Truck Driver, Tandem Axle Tractor with Semi Trailer $12.49 $12.12 $12.50 $12.81 $13.16 $12.86 $16.22 $12.50 $13.80 $12.27
1441 Tunneling Machine Operator, Heavy
1442 Tunneling Machine Operator, Light
1706 Welder $14.02 $15.97 $13.74 $14.84 $13.78
1520 Work Zone Barricade Servicer $10.30 $12.88 $11.46 $11.70 $11.85 $10.77 $11.68 $12.20 $11.22 $11.51 $12.96 $10.54 $11.67
Notes:Any worker employed on this project shall be paid at the rate of one and one half (1-1/2) times the regular rate for every hour worked in excess of forty (40) hours per week.The titles and descriptions for the classifications listed here are further detailed in the AGC of Texas’ Standard Job Classifications and Descriptions for Highway, Heavy, Utilities, and Industrial Construction in Texas . AGC will make it available on its Web site for any contractor.
County Name Zone County Name Zone County Name Zone County Name Zone
Anderson 38 Donley 54 Karnes 37 Reagan 54Andrews 54 Duval 41 Kaufman 35 Real 54Angelina 38 Eastland 54 Kendall 16 Red River 38Aransas 40 Ector 7 Kenedy 41 Reeves 18Archer 35 Edwards 18 Kent 54 Refugio 37Armstrong 7 El Paso 34 Kerr 37 Roberts 54Atascosa 16 Ellis 35 Kimble 54 Robertson 16Austin 56 Erath 38 King 54 Rockwall 35Bailey 54 Falls 38 Kinney 18 Runnels 54Bandera 16 Fannin 38 Kleberg 37 Rusk 11Bastrop 16 Fayette 37 Knox 54 Sabine 38Baylor 54 Fisher 54 Lamar 38 San Augustine 38Bee 37 Floyd 54 Lamb 54 San Jacinto 56Bell 16 Foard 54 Lampasas 16 San Patricio 40Bexar 16 Fort Bend 56 LaSalle 41 San Saba 54Blanco 37 Franklin 38 Lavaca 37 Schleicher 54Borden 54 Freestone 38 Lee 37 Scurry 54Bosque 38 Frio 37 Leon 38 Shackelford 54Bowie 11 Gaines 54 Liberty 56 Shelby 38Brazoria 56 Galveston 56 Limestone 38 Sherman 54Brazos 16 Garza 54 Lipscomb 54 Smith 11Brewster 18 Gillespie 37 Live Oak 37 Somervell 38Briscoe 54 Glasscock 54 Llano 37 Starr 41Brooks 41 Goliad 40 Loving 54 Stephens 54Brown 54 Gonzales 37 Lubbock 7 Sterling 54Burleson 16 Gray 54 Lynn 54 Stonewall 54Burnet 37 Grayson 35 Madison 38 Sutton 18Caldwell 16 Gregg 11 Marion 38 Swisher 54Calhoun 40 Grimes 38 Martin 54 Tarrant 35Callahan 35 Guadalupe 16 Mason 37 Taylor 7Cameron 8 Hale 54 Matagorda 37 Terrell 18Camp 38 Hall 54 Maverick 41 Terry 54Carson 7 Hamilton 38 McCulloch 54 Throckmorton 54Cass 38 Hansford 54 McLennan 16 Titus 38Castro 54 Hardeman 54 McMullen 41 Tom Green 7Chambers 56 Hardin 56 Medina 16 Travis 16Cherokee 38 Harris 56 Menard 54 Trinity 38Childress 54 Harrison 63 Midland 7 Tyler 38Clay 35 Hartley 54 Milam 38 Upshur 11Cochran 54 Haskell 54 Mills 54 Upton 54Coke 54 Hays 16 Mitchell 54 Uvalde 41Coleman 54 Hemphill 54 Montague 54 Val Verde 18Collin 35 Henderson 38 Montgomery 56 Van Zandt 38Collingsworth 54 Hidalgo 8 Moore 54 Victoria 14Colorado 37 Hill 38 Morris 38 Walker 38Comal 16 Hockley 54 Motley 54 Waller 56Comanche 54 Hood 38 Nacogdoches 38 Ward 54Concho 54 Hopkins 38 Navarro 38 Washington 38Cooke 54 Houston 38 Newton 38 Webb 8Coryell 16 Howard 54 Nolan 54 Wharton 37Cottle 54 Hudspeth 18 Nueces 40 Wheeler 54Crane 54 Hunt 35 Ochiltree 54 Wichita 12Crockett 18 Hutchinson 54 Oldham 54 Wilbarger 54Crosby 7 Irion 7 Orange 56 Willacy 41Culberson 18 Jack 38 Palo Pinto 38 Williamson 16Dallam 54 Jackson 37 Panola 38 Wilson 16Dallas 35 Jasper 38 Parker 35 Winkler 54Dawson 54 Jeff Davis 18 Parmer 54 Wise 35Deaf Smith 54 Jefferson 56 Pecos 18 Wood 38Delta 35 Jim Hogg 41 Polk 38 Yoakum 54Denton 35 Jim Wells 37 Potter 7 Young 54DeWitt 37 Johnson 35 Presidio 18 Zapata 41Dickens 54 Jones 35 Rains 38 Zavala 41Dimmit 41 Randall 7
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2004 Specifications
SPECIAL PROVISION 000---003
Notice to All Bidders
To report bid rigging activities call:
1-800-424-9071
The U.S. Department of Transportation (DOT) operates the above toll-free “hotline” Monday through Friday, 8:00 a.m. to 5:00 p.m., eastern time. Anyone with knowledge of possible bid rigging, bidder collusion, or other fraudulent activities should use the “hotline” to report such activities.
The “hotline” is part of the DOT's continuing effort to identify and investigate highway construction contract fraud and abuse and is operated under the direction of the DOT Inspector General. All information will be treated confidentially and caller anonymity will be respected.
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2004 Specifications
SPECIAL PROVISION 000---004
Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246)
1. General. In addition to the affirmative action requirements of the Special Provision titled "Standard Federal Equal Employment Opportunity Construction Contract Specifications" as set forth elsewhere in this proposal, the Bidder's attention is directed to the specific requirements for utilization of minorities and females as set forth below.
2. Goals.
a. Goals for minority and female participation are hereby established in accordance with 41 CFR 60-4.
b. The goals for minority and female participation expressed in percentage terms for the Contractor’s aggregate work force in each trade on all construction work in the covered area, are as follows:
Goals for minority Goals for female participation in participation in each trade (per- each trade (per- cent) cent)
See Table 1 6.9
c. These goals are applicable to all the Contractor’s construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the Contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the Contractor also is subject to the goals for both its federally involved and non-federally involved construction. The Contractor’s compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Standard Federal Equal Employment Opportunity Construction Contract Specifications Special Provision and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the Contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority and female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor’s goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.
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d. A contractor or subcontractor will be considered in compliance with these provisions by participation in the Texas Highway-Heavy Branch, AGC, Statewide Training and Affirmative Action Plan. Provided that each contractor or subcontractor participating in this plan must individually comply with the equal opportunity clause set forth in 41 CFR 60-1.4 and must make a good faith effort to achieve the goals set forth for each participating trade in the plan in which it has employees. The overall good performance of other contractors and subcontractors toward a goal in an approved plan does not excuse any covered contractor’s or subcontractor’s failure to make good faith efforts to achieve the goals contained in these provisions. Contractors or subcontractors participating in the plan must be able to demonstrate their participation and document their compliance with the provisions of this Plan.
3. Subcontracting. The Contractor shall provide written notification to the Department within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation pending concurrence of the Department in the award. The notification shall list the names, address and telephone number of the subcontractor; employer identification number; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the contract is to be performed.
4. Covered Area. As used in this special provision, and in the contract resulting from this solicitation, the geographical area covered by these goals for female participation is the State of Texas. The geographical area covered by these goals for other minorities are the counties in the State of Texas as indicated in Table 1.
5. Reports. The Contractor is hereby notified that he may be subject to the Office of Federal Contract Compliance Programs (OFCCP) reporting and record keeping requirements as provided for under Executive Order 11246 as amended. OFCCP will provide direct notice to the Contractor as to the specific reporting requirements that he will be expected to fulfill.
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Table 1
Goals for Minority Goals for Minority County Participation County Participation
County Participation County Participation Hale 19.5 Lavaca 27.4 Hall 11.0 Lee 24.2 Hamilton 18.6 Leon 27.4 Hansford 11.0 Liberty 27.3 Hardeman 11.0 Limestone 18.6 Hardin 22.6 Lipscomb 11.0 Harris 27.3 Live Oak 44.2 Harrison 22.8 Llano 24.2 Hartley 11.0 Loving 18.9 Haskell 10.9 Lubbock 19.6 Hays 24.1 Lynn 19.5 Hemphill 11.0 Madison 27.4 Henderson 22.5 Marion 22.5 Hidalgo 72.8 Martin 18.9 Hill 18.6 Mason 20.0 Hockley 19.5 Matagorda 27.4 Hood 18.2 Maverick 49.4 Hopkins 17.2 McCulloch 20.0 Houston 22.5 McLennan 20.7 Howard 18.9 McMullen 49.4 Hudspeth 49.0 Medina 49.4 Hunt 17.2 Menard 20.0 Hutchinson 11.0 Midland 19.1 Irion 20.0 Milam 18.6 Jack 17.2 Mills 18.6 Jackson 27.4 Mitchell 10.9 Jasper 22.6 Montague 17.2 Jeff Davis 49.0 Montgomery 27.3 Jefferson 22.6 Moore 11.0 Jim Hogg 49.4 Morris 20.2 Jim Wells 44.2 Motley 19.5 Johnson 18.2 Nacogdoches 22.5 Jones 11.6 Navarro 17.2 Karnes 49.4 Newton 22.6 Kaufman 18.2 Nolan 10.9 Kendall 49.4 Nueces 41.7 Kenedy 44.2 Ochiltree 11.0 Kent 10.9 Oldham 11.0 Kerr 49.4 Orange 22.6 Kimble 20.0 Palo Pinto 17.2 King 19.5 Panola 22.5 Kinney 49.4 Parker 18.2 Kleberg 44.2 Parmer 11.0 Knox 10.9 Pecos 18.9 Lamar 20.2 Polk 27.4 Lamb 19.5 Potter 9.3 Lampasas 18.6 Presidio 49.0 LaSalle 49.4 Rains 17.2
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Goals for Minority Goals for Minority
County Participation County Participation
Randall 9.3 Webb 87.3 Reagan 20.0 Wharton 27.4 Real 49.4 Wheeler 11.0 Red River 20.2 Wichita 12.4 Reeves 18.9 Wilbarger 11.0 Refugio 44.2 Willacy 72.9 Roberts 11.0 Williamson 24.1 Robertson 27.4 Wilson 49.4 Rockwall 18.2 Winkler 18.9 Runnels 20.0 Wise 18.2 Rusk 22.5 Wood 22.5 Sabine 22.6 Yoakum 19.5 San Augustine 22.5 Young 11.0 San Jacinto 27.4 Zapata 49.4 San Patricio 41.7 Zavala 49.4 San Saba 20.0 Schleicher 20.0 Scurry 10.9 Shackelford 10.9 Shelby 22.5 Sherman 11.0 Smith 23.5 Somervell 17.2 Starr 72.9 Stephens 10.9 Sterling 20.0 Stonewall 10.9 Sutton 20.0 Swisher 11.0 Tarrant 18.2 Taylor 11.6 Terrell 20.0 Terry 19.5 Throckmorton 10.9 Titus 20.2 Tom Green 19.2 Travis 24.1 Trinity 27.4 Tyler 22.6 Upshur 22.5 Upton 18.9 Uvalde 49.4 Val Verde 49.4 Van Zandt 17.2 Victoria 27.4 Walker 27.4 Waller 27.3 Ward 18.9 Washington 27.4
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2004 Specifications
SPECIAL PROVISION 000---006
Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246)
1. As used in these specifications:
a. "Covered area" means the geographical area described in the solicitation from which this contract resulted;
b. "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority;
c. "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941.
d. "Minority" includes:
(i) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);
(ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race);
(iii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and
(iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North American and maintaining identifiable tribal affiliations through membership and participation or community identification).
2. Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted.
3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U. S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its
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obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor's or Subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables.
4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered construction contractors performing contracts in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the contract is being performed. Goals are published periodically in the Federal Register in notice form and such notices may be obtained from any Office of Federal Contract Compliance Programs office or any Federal procurement contracting officer. The Contractor is expected to make substantially uniform progress toward its goals in each craft during the period specified.
5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto.
6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U. S. Department of Labor.
7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following:
a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.
b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses.
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c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the Contractor may have taken.
d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral Process has impeded the Contractor's efforts to meet its obligations.
e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 7b above.
f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and Collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed.
g. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as Superintendents, General Foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter.
h. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business.
i. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of
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applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process.
j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's workforce.
k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3.
l. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities.
m. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out.
n. Ensure that all facilities and company activities are non-segregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes.
o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.
p. Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's EEO policies and affirmative action obligations.
8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance.
9. A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both
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minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized).
10. Nondiscrimination programs require that Federal-aid recipients, subrecipients, and contractors prevent discrimination and ensure nondiscrimination in all of their programs and activities, whether those programs and activities are federally funded or not. The factors prohibited from serving as a basis for action or inaction which discriminates include race, color, national origin, sex, age, and handicap/disability. The efforts to prevent discrimination must address, but not be limited to a program's impacts, access, benefits, participation, treatment, services, contracting opportunities, training opportunities, investigations of complaints, allocations of funds, prioritization of projects, and the functions of right-of-way, research, planning, and design.
11. The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246.
12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended.
13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8.
14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.
15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program).
6-6 000---006 05-04
16. In addition to the reporting requirements set forth elsewhere in this contract, the Contractor and the subcontractors holding subcontracts, not including material suppliers, of $10,000 or more, shall submit for every month of July during which work is per-formed, employment data as contained under Form PR 1391 (Appendix C to 23 CFR, Part 230), and in accordance with the instructions included thereon.
1-1 000---009 04-04
2004 Specifications
SPECIAL PROVISION 000---009
Certification of Nondiscrimination in Employment
By signing this proposal, the bidder certifies that he has participated in a previous contract or subcontract subject to the equal opportunity clause, as required by Executive Orders 10925, 11114, or 11246, or if he has not participated in a previous contract of this type, or if he has had previous contract or subcontracts and has not filed, he will file with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a Federal Government contracting or administering agency, or the former President's Committee on Equal Employment Opportunity, all reports due under the applicable filing requirements.
Note: The above certification is required by the Equal Employment Opportunity Regulations of the Secretary of Labor (41 CFR 60-1.7(b)(1)), and must be submitted by bidders and proposed subcontractors only in connection with contracts and subcontracts which are subject to the equal opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or under are exempt.)
Currently, Standard Form 100 (EEO-1) is the only report required by the Executive Orders or their implementing regulations.
Proposed prime contractors and subcontractors who have participated in a previous contract or subcontract subject to the Executive Orders and have not filed the required reports should note that 41 CFR 60-1.7(b)(1) prevents the award of contracts and subcontracts unless such contractor submits a report covering the delinquent period or such other period specified by the Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U. S. Department of Labor.
1-2 000---011
09-13
2004 Specifications
SPECIAL PROVISION
000---011
Department Division Mailing and Physical Addresses
For this project, Item 000, “Department Division Mailing and Physical Addresses,” of the
Standard Specifications, is hereby amended with respect to the clauses cited below, and no other
clauses or requirements of this Item are waived or changed hereby.
Use the information in Table 1 to contact the Department Divisions referenced in the Standard
Specifications or Special Provisions and Special Specifications in the Contract. This listing is for
the purposes of providing addresses for transmission of information in accordance with the
specifications. Unless otherwise stated in the specifications, address all correspondence and
transmission of information to the Engineer responsible for the oversight of construction. Submit
bidding documents to the location shown in the official advertisement. Address changes will be
posted on the Department’s Internet site at http://www.txdot.gov/.
Table 1
Department Division Mailing and Physical Addresses
Division/Section Name U.S. Post Office Address Physical Address
Division/Section Name U.S. Post Office Address Physical Address
Maintenance Division
Maintenance Section Texas Department of
Transportation
Maintenance Division
Maintenance Section
125 E 11th
Street
Austin, TX 78701
Maintenance Division
Maintenance Section
150 East Riverside Drive
Austin, TX 78704
(512) 416-3185
Vegetation Management Section Texas Department of
Transportation
Maintenance Division
Vegetation Management Section
125 E 11th
Street
Austin, TX 78701
Maintenance Division
Vegetation Management Section
150 East Riverside Drive
Austin, TX 78704
(512) 416-3093
Traffic Operations Division
Traffic Operations Division Texas Department of
Transportation
Traffic Operations Division
125 E 11th
Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
200 E. Riverside
Bldg. 118
Austin, Texas 78704
512-416-3200
Traffic Engineering Texas Department of
Transportation
Traffic Operations Division
Traffic Engineering Section
125 E 11th
Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Engineering Section
200 E. Riverside
Bldg. 118
Austin, Texas 78704
(512) 416-3118
Traffic Management-ITS Branch Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section
125 E 11th
Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section
Cedar Park Campus, Bldg. 51
9500 Lake Creek Parkway
Austin, TX 78717
512-506-5100
Traffic Management-
Signal/Radio Branch
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section-
Signal/Radio Branch
125 E 11th
Street
Austin TX 78701
Texas Department of
Transportation
Traffic Operations Division
Traffic Management Section-
Signal/Radio Branch
Cedar Park Campus, Bldg. 51
9500 Lake Creek Parkway
Austin, TX 78717
512-506-5100
2004 Specifications Federal-Aid Projects Only
SPECIAL PROVISION
000--1483
Notice of Changes to U.S. Department of Labor Required Payroll Information
Do not include employee addresses and social security numbers on the payroll submissions to the department. In lieu of the social security number, include an individually identifying number for each employee (Example: last four digits of the individual’s social security number).
Maintain the full social security number and current address of each covered employee in files for 3 years after project completion and make the information available upon the Department’s request.
Form FHWA 1273 and optional form WH-347 will be revised in the future to reflect these changes.
1-1 000--1483 01-09
1-1 000--2638
10-13
2004 Specifications Federal-Aid Projects Only
SPECIAL PROVISION
000--2638
On-the-Job Training Program
1. Description. The primary objective of this Special Provision is the training and
advancement of minorities, women and economically disadvantaged persons toward
journeyworker status. Accordingly, make every effort to enroll minority, women and
economically disadvantaged persons to the extent that such persons are available within a
reasonable area of recruitment. This training commitment is not intended, and shall not be
used to discriminate against any applicant for training, whether or not he/she is a member of
a minority group.
2. Trainee Assignment. Training assignments are based on the past volume of state-let
highway construction contracts awarded with the Department. Contractors meeting the
selection criteria will be notified of their training assignment at the beginning of the reporting
year by the Department’s Office of Civil Rights.
3. Program Requirements. Fulfill all of the requirements of the On-the-Job Training Program
including the maintenance of records and submittal of periodic reports documenting program
performance. Trainees shall be paid at least 60% of the appropriate minimum
journeyworker’s rate specified in the contract for the first half of the training period, 75% for
the third quarter, and 90% for the last quarter, respectively.
4. Reimbursement. If requested, contractors may be reimbursed $0.80 per training hour at no
additional cost to the Department. Training may occur on this project, all other Department
contracts, or local-administered federal-aid projects with concurrence of the local
government entity. However, reimbursement for training is not available on projects to the
extent that such projects that do not contain federal funds.
5. Compliance. The Contractor will have fulfilled the contractual responsibilities by having
provided acceptable training to the number of trainees specified in their goal assignment.
Noncompliance may be cause for corrective and appropriate measures pursuant to Article
8.6., “Abandonment of Work or Default of Contract,” which may be used to comply with the
sanctions for noncompliance pursuant to 23 CFR Part 230.
2004 Specifications
SPECIAL PROVISION
000--1966
Disadvantaged Business Enterprise in Federal Aid Contracts
1. Description. The purpose of this Special Provision is to carry out the U. S. Department of Transportation's (DOT) policy of ensuring nondiscrimination in the award and administration of DOT assisted contracts and creating a level playing field on which firms owned and controlled by individuals who are determined to be socially and economically disadvantaged can compete fairly for DOT assisted contracts. If the Disadvantaged Business Enterprise (DBE) goal is greater than zero, Article A, “Disadvantaged Business Enterprise in Federal Aid Contracts”, of this Special Provision shall apply to this contract. If there is no DBE goal, Article B, “Race-Neutral DBE Participation”, of this Special Provision shall apply to this contract. The percentage goal for DBE participation in the work to be performed under this contract will be shown on the proposal.
A. Article A. Disadvantaged Business Enterprise in Federal Aid Contracts.
1. Policy. It is the policy of the DOT and the Texas Department of Transportation (henceforth the “Department”) that DBEs, as defined in 49 CFR Part 26, Subpart A and the Department's DBE Program, shall have the opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. The DBE requirements of 49 CFR Part 26, and the Department’s DBE Program, apply to this contract as follows:
a. The Contractor will solicit DBEs through reasonable and available means, as defined in 49 CFR Part 26, Appendix A and the Department's DBE Program, or show a good faith effort to meet the DBE goal for this contract.
b. The Contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate.
c. The requirements of this Special Provision shall be physically included in any subcontract.
d. By signing the contract proposal, the Bidder is certifying that the DBE goal as stated in the proposal will be met by obtaining commitments from eligible DBEs or that the Bidder will provide acceptable evidence of good faith effort to meet the commitment. The Department will determine the adequacy of a Contractor's efforts to meet the contract goal, within 10 business days,
1-11 000--1966 06-10
excluding national holidays, from receipt of the information outlined in this Special Provision under Section 1.A.3, “Contractor's Responsibilities.” If the requirements of Section 1.A.3 are met, the conditional situation will be removed and the contract will be forwarded to the Contractor for execution.
2. Definitions.
a. “Broker” is an intermediary or middleman that does not take possession of a commodity or act as a regular dealer selling to the public.
b. “Disadvantaged Business Enterprise” or “DBE” is defined in the standard specifications, Article 1, Definition of Terms.
c. “DBE Joint Venture” means an association of a DBE firm and 1 or more other firm(s) to carry out a single business enterprise for profit for which purpose they combine their property, capital, efforts, skills and knowledge, and in which the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest.
d. “DOT” means the U.S. Department of Transportation, including the Office of the Secretary, the Federal Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration (FAA).
e. “Federal Aid Contract” is any contract between the Texas Department of Transportation and a Contractor which is paid for in whole or in part with DOT financial assistance.
f. “Good Faith Effort” means efforts to achieve a DBE goal or other requirement of this Special Provision which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement.
g. “Manufacturer” is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.”
h. “Race-conscious” means a measure or program that is focused specifically on assisting only DBEs, including women-owned businesses.
i. “Race-neutral DBE Participation” means any participation by a DBE through customary competitive procurement procedures.
j. “Regular Dealer” is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a regular dealer, the firm must be an established, regular business that engages in, as its principal business and under its own name, the purchase and sale or lease of the products in question.
2-11 000--1966 06-10
A regular dealer in such bulk items as steel, cement, gravel, stone, and petroleum products need not keep such products in stock if it owns and operates distribution equipment for the products. Any supplementing of regular dealers own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis. Brokers, packagers, manufacturers' representatives, or other persons who arrange or expedite transactions shall not be regarded as a regular dealer.
k. “Texas Unified Certification Program” or “TUCP” provides one-stop shopping to applicants for certification, such that applicants are required to apply only once for a DBE certification that will be honored by all recipients of federal funds in the state. The TUCP by Memorandum of Agreement established six member entities to serve as certifying agents for Texas in specified regions.
3. Contractor’s Responsibilities. These requirements must be satisfied by the Contractor.
a. After conditional award of the contract, the Contractor shall submit a completed Form SMS.4901 “DBE Commitment Agreement”, From SMS 4901-T “DBE Trucking Commitment Agreement”, or Form SMS.4901-MS “DBE Material & Supplier Commitment Agreement” for each DBE he/she intends to use to satisfy the DBE goal or a good faith effort to explain why the goal could not be reached, so as to arrive in the Department's Office of Civil Rights (OCR) in Austin, Texas not later than 5:00 p.m. on the 10th business day, excluding national holidays, after the conditional award of the contract. When requested, additional time, not to exceed 7 business days, excluding national holidays, may be granted based on documentation submitted by the Contractor.
b. DBE prime Contractors may receive credit toward the DBE goal for work performed by his/her own forces and work subcontracted to DBEs. A DBE prime must make a good faith effort to meet the goals. In the event a DBE prime subcontracts to a non-DBE, that information must be reported on Form SMS.4902.
c. A Contractor who cannot meet the contract goal, in whole or in part, shall make adequate good faith efforts to obtain DBE participation as so stated and defined in 49 CFR Part 26, Appendix A. The following is a list of the types of action that may be considered as good faith efforts. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. Soliciting through all reasonable and available means (e.g. attendance at
prebid meetings, advertising, and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The solicitation must be done within sufficient time to allow the DBEs to respond to it. Appropriate steps must be taken to follow up initial solicitations to determine, with certainty, if the DBEs are interested.
3-11 000--1966 06-10
Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the Contractor might otherwise prefer to perform the work items with its own forces.
Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.
Negotiating in good faith with interested DBEs to make a portion of the work available to DBE subcontractors and suppliers and select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiations includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work.
A Bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional cost involved in finding and using DBEs is not in itself sufficient reason for a bidders failure to meet the Contract DBE goal as long as such cost are reasonable. Also, the ability or desire of the Contractor to perform the work of the Contract with its own organization does not relieve the Bidder of the responsibility to make good faith effort. Contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable.
Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The Contractor’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate cause for the rejection or non-solicitation of bids and the Contractors efforts to meet the project goal.
Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or Contractor.
Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.
Effectively using the services of available minority/women community organizations; minority/women Contractors' groups; local, state, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs.
4-11 000--1966 06-10
If the Program Manager of the OCR determines that the Contractor has failed to meet the good faith effort requirements, the Contractor will be given an opportunity for reconsideration by the Director of the OCR.
d. Should the bidder to whom the contract is conditionally awarded refuse, neglect or fail to meet the DBE goal or comply with good faith effort requirements, the proposal guaranty filed with the bid shall become the property of the state, not as a penalty, but as liquidated damages to the Department.
e. The preceding information shall be submitted directly to the Office of Civil Rights, Texas Department of Transportation, 125 E. 11th Street, Austin, Texas 78701-2483.
f. The Contractor shall not terminate for convenience a DBE subcontractor named in the commitment submitted under Section 1.A.3.a, of this Special Provision. Prior to terminating or removing a DBE subcontractor named in the commitment, the Contractor must have a written consent of the Department.
g. The Contractor shall also make a good faith effort to replace a DBE subcontractor that is unable to perform successfully with another DBE, to the extent needed to meet the contract goal. The Contractor shall submit a completed Form 4901 “DBE Commitment Agreement”, From SMS 4901-T “DBE Trucking Commitment Agreement”, or Form SMS.4901-MS “DBE Material & Supplier Commitment Agreement” for the substitute DBE firm(s). Any substitution of DBEs shall be subject to approval by the Department. Prior to approving the substitution, the Department will request a statement from the DBE concerning it being replaced.
h. The Contractor shall designate a DBE liaison officer who will administer the Contractor’s DBE program and who will be responsible for maintenance of records of efforts and contacts made to subcontract with DBEs.
i. Contractors are encouraged to investigate the services offered by banks owned and controlled by disadvantaged individuals and to make use of these banks where feasible.
4. Eligibility of DBEs.
a. The member entities of the TUCP certify the eligibility of DBEs and DBE joint ventures to perform DBE subcontract work on DOT financially assisted contracts.
b. The Department maintains the Texas Unified Certification Program DBE Directory containing the names of firms that have been certified to be eligible to participate as DBE’s on DOT financially assisted contracts. This Directory is available from the Department’s OCR. An update of the Directory can be found on the Internet at http://www.dot.state.tx.us/business/tucp/default.htm.
c. Only DBE firms certified at the time commitments are submitted are eligible to be used in the information furnished by the Contractor as required under Section 1.A.3.a. and 3.g. above. For purposes of the DBE goal on this project, DBEs will only be allowed to perform work in the categories of work for which they are certified.
d. Only DBE firms certified at the time of execution of a contract/subcontract/purchase order, are eligible for DBE goal participation.
5. Determination of DBE Participation. When a DBE participates in a contract, only the values of the work actually performed by the DBE, as referenced below, shall be counted by the prime contractor toward DBE goals:
a. The total amount paid to the DBE for work performed with his/her own forces is counted toward the DBE goal. When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted toward DBE goals only if the subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count toward DBE goals.
b. A Contractor may count toward its DBE goal a portion of the total value of the contract amount paid to a DBE joint venture equal to the distinct, clearly defined portion of the work of the contract performed by the DBE.
(1) A Contractor may count toward its DBE goal only expenditures to DBEs that perform a commercially useful function (CUF) in the work of a contract or purchase order. A DBE is considered to perform a CUF when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself.
In accordance with 49 CFR Part 26, Appendix A, guidance concerning Good Faith Efforts, contractors may make efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. Contractors may not however, negotiate the price of materials or supplies used on the contract by the DBE, nor may they determine quality and quantity, order the materials themselves, nor install the materials (where applicable), or pay for the material themselves. Contractors however, may share the quotations they receive from the material supplier with the DBE firm, so that the DBE firm may negotiate a reasonable price with the material supplier. In all cases, prime or other non-DBE subcontractor assistance will not be credited toward the DBE goal.
6-11 000--1966 06-10
(2) A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation.
Consistent with industry practices and the DOT/Department’s DBE program, a DBE subcontractor may enter into second-tier subcontracts, amounting up to 70% of their contract. Work subcontracted to a non-DBE does not count towards DBE goals. If a DBE does not perform or exercise responsibility for at least 30% of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that the DBE is not performing a CUF
(3) A DBE trucking firm (including an owner operator who is certified as a DBE is considered to be performing a CUF when the DBE is responsible for the management and supervision of the entire trucking operation on a particular contract and the DBE itself owns and operates at least 1 fully licensed, insured, and operational truck used on the contract.
(a) The Contractor receives credit for the total value of the transportation services the DBE provides on a contract using trucks it owns, insures, and operates using drivers it employs.
(b) The DBE may lease trucks from another DBE firm, including an owner operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the Contract.
(c) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE who leases trucks from a non-DBE is entitled to credit for the total value of transportation services provided by non-DBE lessees not to exceed the value of transportation services provided by the DBE-owned trucks on the contract. Additional participation by non-DBE lessees receive credit only for the fee or commission it receives as result of the lease arrangement
(d) A lease must indicate that the DBE has exclusive use of and control over the trucks giving the DBE absolute priority for use of the leased trucks. Leased trucks must display the name and identification number of the DBE.
(4) When a DBE is presumed not to be performing a CUF the DBE may present evidence to rebut this presumption.
(5) Project materials or supplies acquired from an affiliate of the prime contractor can not directly or indirectly (2nd or lower tier subcontractor) be used for DBE goal credit.
7-11 000--1966 06-10
c. A Contractor may count toward its DBE goals expenditures for materials and supplies obtained from a DBE manufacturer, provided that the DBE assumes the actual and contractual responsibility for the materials and supplies. Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following:
(1) If the materials or supplies are obtained from a DBE manufacturer, count
100% of the cost of the materials or supplies toward DBE goals. (Definition of a DBE manufacturer found at 1A.c.(1) of this provision.)
For purposes of this Section (1.A.c.(1)), a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.
(2) If the materials or supplies are purchased from a DBE regular dealer,
count 60% of the cost of the materials or supplies toward DBE goals. For purposes of this Section (1.A.5.c.(2)), a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business:
(A) To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question.
(B) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating, or maintaining a place of business as provided in the first paragraph under Section 1.A.5.c.(2), if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers’ own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis.
(C) Packagers, brokers, manufacturers’ representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of Section 1.A.5.c.(2).
(3) With respect to materials or supplies purchased from DBE which is
neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services.
8-11 000--1966 06-10
Do not count any portion of the cost of the materials and supplies themselves toward DBE goals.
(4) Count the entire amount of fees or commissions charged by a DBE firm
for providing a bona fide service, such as professional, technical, consultant or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services.
d. If the Contractor chooses to assist a DBE firm, other than a manufacturing material supplier or regular dealer, and the DBE firm accepts the assistance, the Contractor may act solely as a guarantor by use of a two-party check for payment of materials to be used on the project by the DBE. The material supplier must invoice the DBE who will present the invoice to the Contractor. The Contractor may issue a joint check to the DBE and the material supplier and the DBE firm must issue the remittance to the material supplier. No funds shall go directly from the Contractor to the material supplier. The DBE firm may accept or reject this joint checking arrangement.
The Contractor must obtain approval from the Department prior to implementing the use of joint check arrangements with the DBE. Submit to the Department, Joint Check Approval Form 2178 for requesting approval. Provide copies of cancelled joint checks upon request. No DBE goal credit will be allowed for the cost of DBE materials that are paid by the Contractor directly to the material supplier.
e. No DBE goal credit will be allowed for supplies and equipment the DBE subcontractor leases from the contractor or its affiliates.
f. No DBE goal credit will be allowed for the period of time determined by the Department that the DBE was not performing a CUF. The denial period of time may occur before or after a determination has been made by the department. In case of the denial of credit for non-performance of a CUF of a DBE, the Contractor will be required to provide a substitute DBE to meet the contract goal or provide an adequate good faith effort when applicable.
6. Records and Reports.
a. The Contractor shall submit monthly reports, after work begins, on DBE payments to meet the DBE goal and for DBE or HUB race-neutral participation. Report payments made to non-DBE HUBs. The monthly report is to be sent to the Area Engineer. These reports will be due within 15 days after the end of a calendar month. These reports will be required until all DBE subcontracting or material supply activity is completed. Form SMS.4903, “DBE Progress Report,” is to be used for monthly reporting. Form. SMS.4904, “DBE Final Report,” is to be used as a final summary of DBE payments submitted upon completion of the project.
9-11 000--1966 06-10
The original final report must be submitted to the OCR and a copy must be submitted to the Area Engineer. These forms may be obtained from the Department or may be reproduced by the Contractor. The Department may verify the amounts being reported as paid to DBEs by requesting copies of cancelled checks paid to DBEs on a random basis. Cancelled checks and invoices should reference the Department’s project number.
b. DBE subcontractors and/or material suppliers should be identified on the monthly report by Vendor Number, name, and the amount of actual payment made to each during the monthly period. Negative reports are required when no activity has occurred in a monthly period.
c. All such records must be retained for a period of 3 years following completion of the contract work, and shall be available at reasonable times and places for inspection by authorized representatives of the Department or the DOT. Provide copies of subcontracts or agreements and other documentation upon request.
d. Prior to receiving final payment, the Contractor shall submit Form SMS.4904, “DBE Final Report”. If the DBE goal requirement is not met, documentation supporting Good Faith Efforts, as outlined in Section 1.A.3.c of this Special Provision, must be submitted with the “DBE Final Report.”
e. Provide a certification of prompt payment in accordance with the Department’s prompt payment procedure to certify that all subcontractors and suppliers were paid from the previous months payments and retainage was released for those whose work is complete. Submit the completed form each month and the month following the month when final acceptance occurred at the end of the project.
7. Compliance of Contractor. To ensure that DBE requirements of this DOT assisted contract are complied with, the Department will monitor the Contractor’s efforts to involve DBEs during the performance of this contract. This will be accomplished by a review of monthly reports submitted to the Area Engineer by the Contractor indicating his progress in achieving the DBE contract goal, and by compliance reviews conducted on the project site by the Department.
The Contractor shall receive credit toward the DBE goal based on actual payments to the DBE subcontractor. The Contractor shall notify the Area Engineer if he/she withholds or reduces payment to any DBE subcontractor. The Contractor shall submit an affidavit detailing the DBE subcontract payments prior to receiving final payment for the contract.
Contractors’ requests for substitutions of DBE subcontractors shall be accompanied by a detailed explanation which should substantiate the need for a substitution. The Contractor may not be allowed to count work on those items being substituted toward the DBE goal prior to approval of the substitution from the Department.
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The prime Contractor is prohibited from providing work crews and equipment to DBEs. DBE Goal credit for the DBE subcontractors leasing of equipment or purchasing of supplies from the prime contractor or its affiliates is not allowed.
When a DBE subcontractor named in the commitment under Section 1.A.3.a. of this Special Provision, is terminated or fails to complete its work on the contract for any reason, the prime contractor is required to make good faith efforts to find another DBE subcontractor to substitute for the original DBE. These good faith efforts shall be directed at finding another DBE to perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal.
A Contractor’s failure to comply with the requirements of this Special Provision shall constitute a material breach of this contract. In such a case, the Department reserves the right to terminate the contract; to deduct the amount of DBE goal not accomplished by DBEs from the money due or to become due the Contractor, or to secure a refund, not as a penalty but as liquidated damages to the Department or such other remedy or remedies as the Department deems appropriate.
Forward Form 2371, “DBE Trucking Credit Worksheet,” completed by the DBE trucker every month DBE credit is used.
B. Article B. Race-Neutral Disadvantaged Business Enterprise Participation. It is the policy of the DOT that Disadvantaged Business Enterprises (DBE) as defined in 49 CFR Part 26 Subpart A, be given the opportunity to compete fairly for contracts and subcontracts financed in whole or in part with Federal funds and that a maximum feasible portion of the Department's overall DBE goal be met using race-neutral means. Consequently, if there is no DBE goal, the DBE requirements of 49 CFR Part 26, apply to this contract as follows: The Contractor will offer DBEs as defined in 49 CFR Part 26, Subpart A, the opportunity to compete fairly for contracts and subcontractors financed in whole or in part with Federal funds. Race-Neutral DBE and non-DBE HUB participation on projects with no DBE goal shall be reported on Form SMS.4903, “DBE or HUB Progress Report” and submitted to the Area Engineer each month and at project completion. Payments to DBEs reported on Form SMS.4903 are subject to the requirements of Section 1.A.5, “Determination of DBE Participation.” The Contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate.
2004 Specifications
SPECIAL PROVISION
000--2329
Partnering
1. General. It is the intent of this provision to promote an environment of trust, mutual respect, integrity, and fair-dealing between the Department and the Contractor. 2. Definitions.
A. Informal Partnering. Partnering that does not make use of a facilitator.
B. Formal Partnering. Partnering where the services of a facilitator (internal or external) are
utilized. 3. Procedures for Partnering Meetings and Format. Informal Partnering is required for this project, unless Formal Partnering is mutually agreed to in lieu of the Informal Partnering. Facilitators. The facilitator is to act as a neutral party seeking to initiate cooperative working relationships. This individual must have the technical knowledge and ability to lead and guide discussions. Choose either an internal or external facilitator. The facilitator must be acceptable to the Engineer.
(1) Internal Facilitators. A Department or Contractor internal (staff) facilitator may be selected as the facilitator at no additional cost to either party.
(2) External Facilitators. A private firm or individual that is independent of the Contractor and the Department may be selected as the facilitator. Submit the facilitator’s name and estimated fees for approval prior to contracting with the facilitator.
Meetings and Arrangements. Coordinate with the Engineer for meeting dates and times, locations including third party facilities, and other needs and appurtenances including but not limited to audio/visual equipment. Make all meeting arrangements for Formal Partnering. Use Department facilities or facilities in the vicinity of the project if available. Submit the estimated meeting costs for approval prior to finalizing arrangements. Coordinate facilitator discussions prior to the partnering meeting to allow the facilitator time to prepare an appropriate agenda. Prepare a list of attendees with job titles and include critical contractor, subcontractor, and supplier staff in the list. Provide the facilitator the list of attendees and invite the attendees listed.
The Department will invite and provide a list of attendees that includes but is not limited to Department, City, County, law enforcement, railroad, and utility representatives.
Participate in additional partnering meetings as mutually agreed.
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4. Payment. Expenses for employee time, contractor equipment, or overhead will not be allowed. Markups will not be allowed.
Informal Partnering will be conducted with each party responsible for their own costs.
For Formal Partnering using internal facilitators, the Contractor will be responsible for arrangements and for expenses incurred by its internal facilitator, including but not limited to meals, travel, and lodging. Department facilitators may be used at no additional cost.
For Formal Partnering using external facilitators, submit an invoice to the Engineer for reimbursement. The Department will reimburse the Contractor for half of the eligible expenses as approved. For external facilitators not approved by the Department but used at the Contractor’s option, the Contractor will be responsible for all costs of the external facilitator. For meeting facilities and appurtenances, submit an invoice to the Engineer for reimbursement. The Department will reimburse the Contractor for half of the eligible expenses as approved.
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2004 Specifications
SPECIAL PROVISION
000--2332
Schedule of Liquidated Damages
For Dollar Amount of Original Contract
Dollar Amount of Daily Contract Administration
Liquidated From More Than To and Including Damages per Working Day
Description. All recipients of federal financial assistance are required to comply with various
nondiscrimination laws including Title VI of the Civil Rights Act of 1964, as amended, (Title
VI). Title VI forbids discrimination against anyone in the United States on the grounds of race,
color, or national origin by any agency receiving federal funds.
Texas Department of Transportation, as a recipient of Federal financial assistance, and under
Title VI and related statutes, ensures that no person shall on the grounds of race, religion (where
the primary objective of the financial assistance is to provide employment per 42 U.S.C. §
2000d-3), color, national origin, sex, age or disability be excluded from participation in, be
denied the benefits of, or otherwise be subjected to discrimination under any Department
programs or activities.
Definition of Terms. Where the term “contractor” appears in the following six
nondiscrimination clauses, the term “contractor” is understood to include all parties to contracts
or agreements with the Texas Department of Transportation.
Nondiscrimination Provisions. During the performance of this contract, the contractor agrees
as follows:
(1) Compliance with Regulations: The Contractor shall comply with the Regulations
relative to nondiscrimination in Federally-assisted programs of the Department of
Transportation (hereinafter, “DOT”) Title 49, Code of Federal Regulations, Part 21, as they
may be amended from time to time, (hereinafter referred to as the Regulations), which are
herein incorporated by reference and made a part of this contract.
(2) Nondiscrimination: The contractor, with regard to the work performed by it during the
contract, shall not discriminate on the grounds of race, color, or national origin in the
selection and retention of subcontractors, including procurements of materials and leases of
equipment. The contractor shall not participate either directly or indirectly in the
discrimination prohibited by section 21.5 of the Regulations, including employment practices
when the contract covers a program set forth in Appendix B of the Regulations.
(3) Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by the contractor for
work to be performed under a subcontract, including procurements of materials or leases of
equipment, each potential subcontractor or supplier shall be notified by the contractor of the
contractor's obligations under this contract and the Regulations relative to nondiscrimination
on the grounds of race, color, or national origin.
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01-13
(4) Information and Reports: The contractor shall provide all information and reports
required by the Regulations or directives issued pursuant thereto, and shall permit access to
its books, records, accounts, other sources of information, and its facilities as may be
determined by the Recipient or the Texas Department of Transportation to be pertinent to
ascertain compliance with such Regulations, orders and instructions. Where any information
required of a contractor is in the exclusive possession of another who fails or refuses to
furnish this information the contractor shall so certify to the Recipient, or the Texas
Department of Transportation as appropriate, and shall set forth what efforts it has made to
obtain the information.
(5) Sanctions for Noncompliance: In the event of the contractor's noncompliance with the
nondiscrimination provisions of this contract, the Recipient shall impose such contract
sanctions as it or the Texas Department of Transportation may determine to be appropriate,
including, but not limited to:
(a) withholding of payments to the contractor under the contract until the contractor
complies, and/or
(b) cancellation, termination or suspension of the contract, in whole or in part.
(6) Incorporation of Provisions: The contractor shall include the provisions of paragraphs
(1) through (6) in every subcontract, including procurements of materials and leases of
equipment, unless exempt by the Regulations, or directives issued pursuant thereto. The
contractor shall take such action with respect to any subcontract or procurement as the
Recipient or the Texas Department of Transportation may direct as a means of enforcing
such provisions including sanctions for non-compliance: Provided, however, that, in the
event a contractor becomes involved in, or is threatened with, litigation with a subcontractor
or supplier as a result of such direction, the contractor may request the Recipient to enter into
such litigation to protect the interests of the Recipient, and, in addition, the contractor may
request the United States to enter into such litigation to protect the interests of the United
States.
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2004 Specifications
SPECIAL PROVISION
000--2839
Important Notice to Contractors
By the 20th
day of each month, report to the Engineer the number of incidents and injuries that
occurred on the project the previous month. Report:
the total number of incidents and injuries for the Contractor and all subcontractors, and
the number of Contractor and subcontractor-related incidents and injuries that involved a
third party.
An “incident” is defined as any work-related occurrence that caused damage only to vehicles,
equipment, materials, etc.
An “injury” is defined as an OSHA recordable injury.
Acquire an Electronic Project Records System (EPRS) account to report incidents and injuries.
Submit an EPRS User Access Request Form (Form 2451) to request an account. This form can
be found at http://www.txdot.gov/business/resources/doing-business/prequalification.html.
Report injuries and incidents using the EPRS website located at